1.1.4- SOO Attachment A- FRC Ground Level HVAC and Roof Replacement - Draft.pdf

DEPARTMENT OF HOMELAND SECURITY (DHS)

Federal Emergency Management Agency

STATEMENT OF OBJECTIVE (SOO) FOR:

FEMA Region 6, Mission Support Division, FRC Ground Level HVAC and Roof

Replacement

Neddra Tucker, Contracting Officer

PROCUREMENT SENSITIVE

INFORMATION

This document contains non-public information intended for use on a need-toknow basis within

FEMA only.

Please protect this document as procurement sensitive and handle accordingly.

DEPARTMENT OF HOMELAND SECURITY (DHS)

DRAFT

DHS Statement of Objectives (SOO)

Learn more at fema.gov June 2021

June 2021 1

Statement of Objectives (SOO) For FRC Ground Level HVAC and Roof Replacement

Purpose

The objective of this project is to remove and replace the 3000 square feet of roof membrane and insulation layer, also removal and replacement of HVAC units that are located on rooftop of the FRC building. The objective of the roof membrane and insulation replacement is to resolve existing leak issues and prevent potential future damage. The removal and Replacement of the two existing HVAC unit and replacing with two new units is to enhance energy efficiency by optimizing power consumption while improving climate control within the building. Project location, Federal Regional

Center (FRC) building at 800 North Loop Denton, TX 76209.

Scope

This project entails the complete removal of the existing roof membrane and insulation from the

FRC’s ground-level roof and replacing with new insulation and a modern roof membrane. Followed by installation of a more efficient HVAC system that ensures effective power usage and improves workplace comfort and control. HVAC replacement will be executed in two phases:

Phase One: The removal of two existing rooftop HVAC package units. The removal process must comply with EPA regulations to ensure no refrigerants are released into the atmosphere, in accordance with environmental standards.

Phase Two: The installation of two commercial-grade HVAC units with a SEER rating of 18 or higher.

Only reputable brands (e.g. Trane, Lennox, York) will be accepted. The units must be sized according to the building's heat load requirements. The contractor is responsible for providing all necessary electrical connections, including breakers and power disconnects, as well as redesigning ductwork to deliver optimal heating and cooling throughout the building. The units will be integrated into the existing Metasys system for advanced temperature control. The areas for the 2 new HVAC units are the Native Nations Room, Approximately 873 SqFt, and the shipping/receiving office, approximately

368 SqFt.

The contractor will also be responsible for the disposal of old roof membrane, insulation, old HVAC units and all waste material associated with this project. All necessary materials, tools, equipment, and Personal Protective Equipment (PPE) must be provided by the contractor, and all work must comply with Davis-Bacon wage requirements.

The primary aim of this project is to address leaks that is associated with the gradual damage or deterioration that happens over time. The installation of three more efficient HVAC units will ensure effective power usage and improve workplace comfort and control.

FEMA does not have electronic copies of the HVAC as-built drawings. The awarded Contractor will be provided access to the available paper blueprints located on-site to determine whether the necessary HVAC information, including information required to evaluate HVAC loads, is available.

Roof insulation shall achieve a minimum R-value of R-35 to R-38. Continuous insulation is preferred.

Performance Requirements

1. Performance Work Statement (PWS) Submission

The contractor will submit a detailed Performance Work Statement (PWS) outlining the tasks, schedules, and resource requirements. The PWS must include:

• A project schedule, including a Gantt chart outlining all milestones.

• Remove all waste/disposable HVAC, roofing and insulation materials from the building’s steel roof structure.

• Dispose of old materials off-site in compliance with environmental regulations.

• Install sub-membrane insulation using Energy Guard, Polyiso, or an equivalent energy-saving material.

• Install a new PVC, TPO, or EPDM roof membrane with a minimum 25-year materials warranty. Tar and gravel systems will not be accepted.

• Install new cast iron drains with top-mounted caged units.

• Install two commercial grade HVAC units with a SEER rating of 18 or higher.

• Remove and reinstall the 12.5 ton HVAC unit currently in place

• Inspect the original metal roof surface to ensure it is in good condition.

• Inspect HVAC units to ensure proper unit operation.

• The existing antenna anchor points may be removed as part of the roofing work.

• The Contractor shall provide all required design service. The design shall be completed and certified by a licensed Professional Engineer (PE).

• The Contractor shall act in a design capacity and submit the proposed design as part of the Performance Work Statement (PWS).

• The Contractor shall submit the performance work schedule at the time of proposal submission.

• The proposed HVAC system shall be a multi-zone system.

• The Contractor shall evaluate whether a 3-ton or 5-ton unit is appropriate for the project and provide the Government with the technical rationale supporting the recommended unit size as part of the proposal/PWS.

2. Minimizing Disruptions o The contractor shall implement provisions to minimize disruptions to building occupants and operations. These provisions must address:

▪ Control and mitigation of noise levels during work hours.

▪ Prevention and management of power outages.

▪ Minimization of operational impacts, including coordination with facility management to avoid interference with critical functions.

3. Physical Oversight and Management o The contractor shall provide physical oversight and management throughout the entire project lifecycle. This includes:

▪ On-site supervision during all phases of work.

▪ Regular progress reporting to the Project Officer.

▪ Immediate notification of any issues affecting project schedule or quality.

4. Compliance with Build America, Buy America Act (BABAA) o The contractor must comply with FEMA’s Build America, Buy America Act (BABAA) requirements for materials and products.

o If a waiver of “Buy America” preferences is necessary, the contractor must follow the prescribed FEMA procedures and obtain written approval prior to procurement.

5. Hazardous Materials Handling o If hazardous materials (such as asbestos or lead-based paint) are encountered during the project, the contractor shall:

▪ Immediately report the discovery to the Project Officer and FEMA Safety

Officer.

▪ Await directions from the Project Officer regarding additional testing or protective measures.

▪ Follow all applicable safety and environmental regulations for handling and disposal.

Period of Performance The period of performance for this statement of objectives is 45 days from Notice to Proceed by the

Contracting Officer. The 45-days period of performance is for the full project. If you believe that it will take additional time you can request that in your proposal.

Place of Performance The primary place of performance will be FEMA Region 6, Federal Regional Center and Vehicle

Storage Administration Building 1 – 800 N. Loop 288, Denton, Texas 76209.

Background The Federal Regional Center (FRC) is an underground bunker-type facility constructed in the 1960s, featuring a ground floor and two underground levels. The building’s roof, originally installed in 1996, consists of an EPDM membrane system with underlying insulation. EPDM roofing typically has a lifecycle of 20–25 years; however, the FRC roof has now exceeded its expected service life. The current roof is in poor condition, with several prior repairs for leaks. The underlying insulation has separated from the roof substrate, resulting in water pooling and improper drainage. The roof lacks scuppers, and water is currently drained via three 6-inch cast iron drains. Given these issues, the contractor shall provide all necessary management, labor, materials, tools, and equipment to complete the roof membrane and HVAC replacement and perform inspections. This includes cleaning all areas where work is conducted to maintain the facility’s appearance. All work must comply with applicable laws, regulations, instructions, and best commercial practices.

Objective 1: Planning and Preparation

• Conduct a site visit before bidding to assess the project scope. This ensures the contractor has a full understanding of the security and safety aspects involved in this project.

• Coordinate with FEMA to develop a comprehensive project plan and schedule.

• Ensure sufficient space for new equipment installation and confirm measurements before starting work.

• The Contractor shall coordinate with FEMA project plan and schedule.

• The Contractor shall check measurements prior to installation,

• Provide FEMA with a written Quality Assurance Plan (QASP) and Performance Work

Statement (PWS).

Objective 2: Demolition and Removal

• All old roofing and HVAC materials must be removed from the FEMA Region 6 site with care and precision, ensuring no damage to the underlying structure.

• Every task must comply with OSHA standards and manufacturer specifications for safety and quality.

• All extra material, waste, and debris must be promptly removed and disposed of off government property, in accordance with environmental regulations.

Objective 3: Installation/Connections

• All installation work must be performed to manufacturer standards and best practices, ensuring the new roof membrane and HVAC units are installed flawlessly.

• Upon completion and government acceptance, a one-year warranty on parts and labor must be provided, reflecting confidence in the quality of our workmanship

• Prioritize environmental sustainability by minimizing waste sent to the landfill and ensuring the recovery and recycling of refrigerants to minimize emissions.

• Use durable, corrosion-resistant components to ensure the system’s reliability and longevity.

• Strive for a balance between initial costs and long-term energy savings, supported by costbenefit and Return on Investments (ROI) analyses.

Objective 4: Cleanup

• All installation work must be performed to manufacturer standards and best practices, ensuring the new roof membrane and HVAC units are installed flawlessly.

• Upon completion and government acceptance, a one-year warranty on parts and labor must be provided, reflecting confidence in the quality of our workmanship

• Clean the work area daily and responsibly dispose of debris and surplus materials.

• Perform a final cleanup and recycle metal waste, providing a report to the Contracting Officer’s Representative (COR).

Objective 5: Final Review and Inspection

• A joint inspection with FEMA will be conducted to verify the quality of the work, the condition of the area, and the proper operation of the new equipment.

• All required reports—including recycled product documentation, construction debris disposition, and accident reporting (if applicable)—must be provided to FEMA promptly and accurately.

• Submit all required reports and documentation to FEMA for final project approval.

• Supply “As-Built” prints for all new equipment and owner’s manuals with a preventive maintenance schedule for the facility.

Objective 6: Crew Competence and Accountability

• Each crew member is responsible for understanding and executing their assigned tasks to perfection.

• Safety, compliance, and quality are non-negotiable. Any deviation from standards will be addressed immediately.

• Communication and teamwork are essential—raise any concerns or questions to the COR directly.

Operating Constraints

The following operational constraints must be considered and addressed to ensure successful execution while minimizing impact on facility operations:

1. Hours of Operation: Work is restricted to Monday through Friday, 08:00 to 17:30. No work is permitted on weekends or federally observed holidays. Any activities requiring extended hours or access outside these times must be approved by the Contracting Officer or representative in advance. Any deviations require prior approval from the Contracting Officer

(CO) or Contracting Officer’s Representative (COR). After-Hours and Weekend Work: Night and weekend work must be requested by the Contractor and approved by the Contracting

Officer Representative (COR) at least two weeks in advance.

2. Occupancy and Workflow: The facilities may be occupied by employees during working hours.

Contractors may need to plan the project in phases to avoid disrupting staff workflow and critical operations. Coordination with facility management is required to schedule work in occupied areas and to provide advance notice to affected personnel.

3. Noise and Disruption: Contractors must be aware of noise levels generated by construction activities. High-noise tasks should be scheduled during periods of minimal occupancy or coordinated with facility management. Communication regarding anticipated noise and disruptions must be provided to staff in advance.

4. Material Handling and Reporting: All materials brought on site must be inventoried and reported to the Project Officer. All chemicals brought on site must be inventoried and reported to the Safety Officer. Transporting materials may require use of passenger elevators and/or stairs, which may have blind spots and limited visibility. Contractors must ensure safe handling and movement of materials, especially in common areas.

5. OSHA Safety Requirements: All work must comply with OSHA safety standards, including proper use of personal protective equipment (PPE), hazard communication, and safe work practices. Contractors are responsible for maintaining a safe work environment for both workers and building occupants.

7. Site Storage Limitations: There is a lack of storage capability on site. Contractors must coordinate just-in-time delivery of materials and equipment and remove debris and surplus materials daily. No materials or equipment may be left unattended in common areas or corridors.

8. Access and Security: Contractors must adhere to facility access and security protocols, including sign-in procedures and escort requirements for restricted areas. All tools and equipment must be secured when not in use.

9. Environmental and Hazardous Materials: Any hazardous materials encountered, such as asbestos or lead-based paint, must be immediately reported to the Project Officer for further directions. Contractors must follow all environmental regulations for handling and disposal.

10. Additional Constraints: Limited parking and loading areas may require coordination for deliveries and equipment staging. Weather conditions may impact exterior work and material deliveries. Contractors must ensure all work areas are cleaned and restored at the end of each workday. These constraints are critical to maintaining operational continuity, safety, and compliance throughout the project. Contractors must address each challenge in their project planning and execution. All labor must be paid according to federal wage standards.

Deliverable Schedule

TASK DELIVERABLES Completion Timeframe

Roster Submission / Facility Access Upon award, provide a list of all contractor and subcontractor personnel requiring facility access during the period of performance.

Include required access forms as directed by the CO/COR. Ensure a qualified supervisor is onsite throughout the project.

Within 2 days after award

Planning and Preparation Submit a detailed project plan, Performance Work Statement (PWS), Quality Assurance Plan, and project schedule, including a Gantt chart with milestones. The plan shall include drawings, schematics, equipment layout, material delivery plan, noise and disruption mitigation, employee impact controls, safety plan, PPE requirements, environmental controls, and coordination requirements with

FEMA.

Within 5 days after award

Site Verification and Measurements Conduct site visit and field verification of existing roof conditions, HVAC locations, ductwork, electrical requirements, drainage, access constraints, and available space for new equipment.

Confirm all measurement before

Within 5 days after award or before procurement ordering materials or beginning installation.

Design and Procurement Design the replacement roof system and HVAC configuration in accordance with the SOO. Order approved roofing materials, insulation, drains, HVAC units, ductwork, dampers, electrical components, and related materials.

Provide the CO and COR with equipment specifications, warranty information, BABAA compliance documentation, and estimated delivery dates

Within 5 days after award, with delivery dates provided upon order confirmation

Demolition and Removal Remove existing roof membrane, insulation, old HVAC units, associated materials, and debris without damaging the underlying steel roof structure. Recover and recycle refrigerants in accordance with EPA requirements. Dispose of waste off-site in accordance with applicable environmental regulations.

After approval of plan and arrival of required materials/equipment;

within overall 45-day POP

Roof Replacement Installation Inspect original metal roof surface.

Install new sub-membrane insulation using Energy Guard, Polyiso, or equivalent energy-saving material.

Install new PVC, TPO, or EPDM roof membrane with a minimum 25-year materials warranty. Install new cast iron drains with top-mounted caged units.

Within overall 45-day POP

HVAC Replacement and Integration Remove and replace HVAC units as specified in the SOO. Replace one existing 5-ton unit serving the mailroom, add one new 5-ton unit with ducting for the Native Nations

Room, and retain the newly installed

12.5-ton unit serving the

Lobby/Security Office and hallway.

Install dampers, ductwork, breakers, disconnects, electrical connections, and integrate all units into the existing Metasys system.

Within overall 45-day POP

Testing, Balancing, and Operational

Verification

Inspect HVAC units for proper operation. Perform comprehensive

HVAC test and balance procedures in accordance with applicable codes and industry standards. Verify airflow, damper operation, redundancy, power connections, controls integration, drainage, and system performance. Provide documented test and balance results to FEMA.

Upon completion of installation and before final inspection

Hazardous Materials Response, If

Required

If asbestos, lead-based paint, or other hazardous materials are suspected or encountered, immediately notify the Project Officer and FEMA Safety Officer. Conduct testing and abatement, if required, in

As needed, immediately upon discovery and before affected work continues accordance with federal, state, and local laws using certified personnel.

Daily Cleanup and Site Maintenance Clean work areas daily. Remove debris, surplus materials, and damaged or unusable parts from

FEMA property. Maintain safe access routes and avoid leaving materials unattended in common areas or corridors.

Daily throughout project performance

Final Cleanup Complete final cleanup of all work areas. Remove all remaining debris, surplus materials, and equipment from FEMA grounds. Recycle metal waste and other recyclable materials where practicable.

Within 1 day after completion of installation

Final Review and Inspection Participate in joint inspection with

FEMA to verify quality of work, cleanliness of areas, roof installation, HVAC operation, controls integration, drainage, and completion of all SOO requirements.

Correct deficiencies identified during inspection

Within 2 days after final cleanup

Final Documentation and Closeout Submit required reports and documentation, including recycled product documentation, construction debris disposition report, accident reports if applicable, test and balance report, warranty documentation, equipment specifications, owner’s manuals, preventive maintenance schedule, and as-built drawings/prints for all new equipment and installed systems

Within 2 days after final inspection or as directed by the CO/COR

Warranty Provide a one-year warranty on parts and labor after final acceptance by the Government. Provide roof membrane materials warranty documentation showing a minimum

25-year materials warranty.

Begins upon final Government acceptance

Cleanup

The Contractor shall thoroughly clean the area and no debris from the service is visible on FEMA grounds. There should be daily clean-up of materials to prevent any hazards. When work is completed in each area, the contractor should complete an elaborate cleanup of area worked. The

Contractor shall perform the final clean up.

Period Of Performance

The Period of Performance (POP) for the contract is for 45 (45) days from the date of award with an option to reduce at the convenience of the government. The vendor shall provide service no later than (5) five days of receiving the notice to proceed from the designated Contractor Officer. The

Learn more at fema.gov June 2021 10 contractor must communicate in writing if there is any reason the services are not performed based on the identified during scheduled period of performance.

Security

All personnel require access to unclassified information only. Contractors must ensure contractor employees receive a favorably background investigation prior to entry on duty (EOD). All individuals will be U.S. citizens. The contractor shall follow the standards established within DHS and FEMA policy.

Unauthorized Disclosure of Classified or Unclassified Information:

Contractors and Subcontractors who are working on this contract shall receive Unauthorized

Disclosure of Classified or Unclassified Information training. Access to the training can be obtained at:https://securityawareness.usalearning.gov/unauthorizedrefresher/index.htm

Send the certificate of completion to the FEMA Contracting Officer Representative no later than 30 calendar days after awarded contract. New employees entering the contract must receive the briefing within ten (10) business days of joining the contract.

For Official Use Only (FOUO) Information:

In accordance with DHS Management Directive 11042.1 contractors, consultants and others to whom access is granted will abide by 11042.1; DHS policy regarding the identification and safeguarding of sensitive but unclassified information originated within DHS. It also applies to other sensitive but unclassified information received by DHS from other government and nongovernmental activities.

The contractor will: Be aware of and comply with the safeguarding requirements for “For Official

Use Only” (FOUO) information as outlined in this directive.

Participate in formal classroom or computer-based training sessions presented to communicate the requirements for safeguarding FOUO and other sensitive but unclassified information.

Be aware that divulging information without proper authority could result in administrative or disciplinary action.

Contractors and Consultants shall execute a DHS Form 11000-6, Sensitive but Unclassified

Information Non Disclosure Agreement (NDA), as a condition of access to such information. Other individuals not assigned to or contractually obligated to DHS, but to whom access to information will be granted, may be requested to execute an NDA as determined by the applicable program manager. Execution of the NDA shall be effective upon date of the DHS Policy and not applied retroactively.

Unauthorized Disclosure of Classified or Unclassified Information

Contractors and Subcontractors who are working on this contract shall receive the Unauthorized

Disclosure of Classified or Unclassified Information training.

https://securityawareness.usalearning.gov/unauthorizedrefresher/index.htm

Learn more at fema.gov June 2021 11

Access to the training can be obtained at:

Send the certificate of completion to the FEMA Contracting Officer Representative no later than 30 calendar days after awarded contract. New employees entering the contract must receive the

Other Clauses

3052.204-71 Contractor employee access.

As prescribed in (HSAR) 48 CFR 3004.470-4(a), insert the following clause with appropriate alternates:

CONTRACTOR EMPLOYEE ACCESS (JULY 2023)

(a) Controlled Unclassified Information (CUI) is any information the Government creates or possesses, or an entity creates or possesses for or on behalf of the Government (other than classified information) that a law, regulation, or Governmentwide policy requires or permits an agency to handle using safeguarding or dissemination controls. This definition includes the following CUI categories and subcategories of information:

(1) Chemical-terrorism Vulnerability Information (CVI) as defined in 6 CFR part 27, “Chemical

Facility Anti-Terrorism Standards,” and as further described in supplementary guidance issued by an authorized official of the Department of Homeland Security (including the Revised

Procedural Manual “Safeguarding Information Designated as Chemical-Terrorism Vulnerability

Information” dated September 2008);

(2) Protected Critical Infrastructure Information (PCII) as set out in the Critical Infrastructure

Information Act of 2002 (title XXII, subtitle B of the Homeland Security Act of 2002 as amended through Pub. L. 116–283), PCII’s implementing regulations (6 CFR part 29), the PCII Program

Procedures Manual, and any supplementary guidance officially communicated by an authorized official of the Department of Homeland Security, the PCII Program Manager, or a PCII Program

Manager Designee;

(3) Sensitive Security Information (SSI) as defined in 49 CFR part 1520, “Protection of Sensitive

Security Information,” as amended, and any supplementary guidance officially communicated by an authorized official of the Department of Homeland Security (including the Assistant

Secretary for the Transportation Security Administration or designee), including Department of

Homeland Security MD 11056.1, “Sensitive Security Information (SSI)” and, within the

Transportation Security Administration, TSA MD 2810.1, “SSI Program”;

(4) Homeland Security Agreement Information means information the Department of Homeland

Security receives pursuant to an agreement with State, local, Tribal, territorial, or private sector partners that is required to be protected by that agreement. The Department receives this

Learn more at fema.gov June 2021 12 information in furtherance of the missions of the Department, including, but not limited to, support of the Fusion Center Initiative and activities for cyber information sharing consistent with the Cybersecurity Information Sharing Act of 2015;

(5) Homeland Security Enforcement Information means unclassified information of a sensitive nature lawfully created, possessed, or transmitted by the Department of Homeland Security in furtherance of its immigration, customs, and other civil and criminal enforcement missions, the unauthorized disclosure of which could adversely impact the mission of the Department;

(6) International Agreement Information means information the Department of Homeland Security receives that is required to be protected by an information sharing agreement or arrangement with a foreign government, an international organization of governments or any element thereof, an international or foreign public or judicial body, or an international or foreign private or nongovernmental organization;

(7) Information Systems Vulnerability Information (ISVI) means:

(i) Department of Homeland Security information technology (IT) systems data revealing infrastructure used for servers, desktops, and networks; applications name, version, and release;

switching, router, and gateway information; interconnections and access methods; and mission or business use/need. Examples of ISVI are systems inventories and enterprise architecture models.

Information pertaining to national security systems and eligible for classification under Executive

Order 13526 will be classified as appropriate; and/or

(ii) Information regarding developing or current technology, the release of which could hinder the objectives of the Department, compromise a technological advantage or countermeasure, cause a denial of service, or provide an adversary with sufficient information to clone, counterfeit, or circumvent a process or system;

(8) Operations Security Information means Department of Homeland Security information that could be collected, analyzed, and exploited by a foreign adversary to identify intentions, capabilities, operations, and vulnerabilities that threaten operational security for the missions of the Department;

(9) Personnel Security Information means information that could result in physical risk to

Department of Homeland Security personnel or other individuals whom the Department is responsible for protecting;

(10) Physical Security Information means reviews or reports illustrating or disclosing facility infrastructure or security vulnerabilities related to the protection of Federal buildings, grounds, or property. For example, threat assessments, system security plans, contingency plans, risk management plans, business impact analysis studies, and certification and accreditation documentation;

(11) Privacy Information includes both Personally Identifiable Information (PII) and Sensitive

Personally Identifiable Information (SPII). PII refers to information that can be used to distinguish or trace an individual’s identity, either alone, or when combined with other information that is linked or linkable to a specific individual; and SPII is a subset of PII that if lost, compromised, or disclosed

Learn more at fema.gov June 2021 13 without authorization could result in substantial harm, embarrassment, inconvenience, or unfairness to an individual. To determine whether information is PII, DHS will perform an assessment of the specific risk that an individual can be identified using the information with other information that is linked or linkable to the individual. In performing this assessment, it is important to recognize that information that is not PII can become PII whenever additional information becomes available, in any medium or from any source, that would make it possible to identify an individual. Certain data elements are particularly sensitive and may alone present an increased risk of harm to the individual.

(i) Examples of stand-alone PII that are particularly sensitive include: Social Security numbers

(SSNs), driver’s license or State identification numbers, Alien Registration Numbers (A-numbers), financial account numbers, and biometric identifiers.

(ii) Multiple pieces of information may present an increased risk of harm to the individual when combined, posing an increased risk of harm to the individual. SPII may also consist of any grouping of information that contains an individual’s name or other unique identifier plus one or more of the following elements:

(A) Truncated SSN (such as last 4 digits);

(B) Date of birth (month, day, and year);

(C) Citizenship or immigration status;

(D) Ethnic or religious affiliation;

(E) Sexual orientation;

(F) Criminal history;

(G) Medical information; and

(H) System authentication information, such as mother’s birth name, account passwords, or personal identification numbers (PINs).

(iii) Other PII that may present an increased risk of harm to the individual depending on its context, such as a list of employees and their performance ratings or an unlisted home address or phone number. The context includes the purpose for which the PII was collected, maintained, and used. This assessment is critical because the same information in different contexts can reveal additional information about the impacted individual.

(b) Information Resources means information and related resources, such as personnel, equipment, funds, and information technology.

(c) Contractor employees working on this contract must complete such forms as may be necessary for security or other reasons, including the conduct of background investigations to determine suitability. Completed forms shall be submitted as directed by the Contracting Officer.

Upon the Contracting Officer’s request, the Contractor’s employees shall be fingerprinted or subject to other investigations as required. All Contractor employees requiring recurring access to government facilities or access to CUI or information resources are required to have a favorably

Learn more at fema.gov June 2021 14 adjudicated background investigation prior to commencing work on this contract unless this requirement is waived under Departmental procedures.

(d) The Contracting Officer may require the Contractor to prohibit individuals from working on the contract if the Government deems their initial or continued employment contrary to the public interest for any reason, including, but not limited to, carelessness, insubordination, incompetence, or security concerns.

(e) Work under this contract may involve access to CUI. The Contractor shall access and use

CUI only for the purpose of furnishing advice or assistance directly to the Government in support of the Government’s activities, and shall not disclose, orally or in writing, CUI for any other purpose to any person unless authorized in writing by the Contracting Officer. For those Contractor employees authorized to access CUI, the Contractor shall ensure that these persons receive initial and refresher training concerning the protection and disclosure of CUI. Initial training shall be completed within 60 days of contract award and refresher training shall be completed every 2 years thereafter.

(f) The Contractor shall include this clause in all subcontracts at any tier where the subcontractor may have access to government facilities, CUI, or information resources.

(End of clause)

ALTERNATE I (JULY 2023)

When the contract will require Contractor employees to have access to information resources, add the following paragraphs:

(g) Before receiving access to information resources under this contract, the individual must complete a security briefing; additional training for specific categories of CUI, if identified in the contract; and any nondisclosure agreement furnished by DHS. The Contracting Officer’s

Representative (COR) will arrange the security briefing and any additional training required for specific categories of CUI.

(h) The Contractor shall have access only to those areas of DHS information resources explicitly stated in this contract or approved by the COR in writing as necessary for performance of the work under this contract. Any attempts by Contractor personnel to gain access to any information resources not expressly authorized by the terms and conditions in this contract, or as approved in writing by the COR, are strictly prohibited. In the event of violation of this provision, DHS will take appropriate actions with regard to the contract and the individual(s) involved.

(i) Contractor access to DHS networks from a remote location is a temporary privilege for mutual convenience while the Contractor performs business for DHS. It is not a right, a guarantee of access, a condition of the contract, or government-furnished equipment (GFE).

(j) Contractor access will be terminated for unauthorized use. The Contractor agrees to hold and save DHS harmless from any unauthorized use and agrees not to request additional time or money under the contract for any delays resulting from unauthorized use or access.

Learn more at fema.gov June 2021 15

(k) Non-U.S. citizens shall not be authorized to access or assist in the development, operation, management, or maintenance of Department IT systems under the contract, unless a waiver has been granted by the Head of the Component or designee, with the concurrence of both the

Department’s Chief Security Officer (CSO) and the Chief Information Officer (CIO) or their designees.

Within DHS Headquarters, the waiver may be granted only with the approval of both the CSO and the CIO or their designees. In order for a waiver to be granted:

(1) There must be a compelling reason for using this individual as opposed to a U.S. citizen; and

(2) The waiver must be in the best interest of the Government.

(l) Contractors shall identify in their proposals the names and citizenship of all non-U.S. citizens proposed to work under the contract. Any additions or deletions of non-U.S. citizens after contract award shall also be reported to the Contracting Officer.

(End of clause)

Alternate II (JULY 2023)

When the Department has determined contract employee access to controlled unclassified information or Government facilities must be limited to U.S. citizens and lawful permanent residents, but the contract will not require access to information resources, add the following paragraphs:

(g) Each individual employed under the contract shall be a citizen of the United States of

America, or an alien who has been lawfully admitted for permanent residence as evidenced by a

Permanent Resident Card (USCIS I-551). Any exceptions must be approved by the Department's

Chief Security Officer or designee.

(h) Contractors shall identify in their proposals, the names and citizenship of all non-U.S.

citizens proposed to work under the contract. Any additions or deletions of non-U.S. citizens after contract award shall also be reported to the Contracting Officer.

Alternate II (JUN 2006) When the Department has determined contract employee access to sensitive information or Government facilities must be limited to U.S. citizens and lawful permanent residents, but the contract will not require access to IT resources, add the following paragraphs:

(g) Each individual employed under the contract shall be a citizen of the United States of

America, or an alien who has been lawfully admitted for permanent residence as evidenced by a

Permanent Resident Card (USCIS I-551). Any exceptions must be approved by the Department's

Chief Security Officer or designee.

(h) Contractors shall identify in their proposals, the names and citizenship of all non-U.S.

citizens proposed to work under the contract. Any additions or deletions of non-U.S. citizens after contract award shall also be reported to the Contracting Officer.

Learn more at fema.gov June 2021 16

Foreign Travel and Government-Issued Equipment

Per DHS and FEMA IT policy, FEMA employees and contractors are not authorized to take government-issued equipment, including cell phones, computers, or tablets such as iPads, outside of the United States regardless of the reason for travel. If government-issued equipment is required for official foreign travel, FEMA government employees may request a temporary loaner device through the Mobility Service Center.Office of the Chief Information Officer, Service Center for the duration of their trip. FEMA contractors must contact their contracting officer’s representative (COR) for further guidance.

If your device is detected as operating outside of the United States and its territories it will be disabled, and your information will be forwarded to the Office of Professional Responsibility for review.

Background Investigations

All contractor personnel who require access to DHS or FEMA information systems, routine access to DHS or FEMA facilities, or access to sensitive information, including but not limited to Personally

Identifiable Information (PII), shall be subject to a full background investigation commensurate with the level of the risk associated with the job function or work being performed. FEMA’s Personnel

Security Division (PSD) will determine the risk designation for each contractor position by comparing the functions and duties of the position against those of a same or similar federal position, applying the same standard for evaluating the associated potential for impact on the integrity and efficiency of federal service.

Low Risk without Information System Access

Contractor personnel occupying positions or performing functions with a Low-Risk designation and who do not require access to DHS or FEMA information systems may undergo a Tier 1 investigation with a credit check and must receive a favorable adjudication thereof from FEMA PSD prior to performing work under this contract. (also reference Facility Access).

Low Risk with Information System Access

Contractor personnel occupying positions or performing functions with a Low-Risk designation and who require access to DHS or FEMA information systems shall undergo a Tier 2 Suitability

Background Investigation (T2) and must receive a favorable adjudication thereof from FEMA PSD prior to performing work under this contract.

Moderate Risk

Contractor personnel occupying positions or performing functions with a Moderate Risk designation shall undergo a Tier 2 Suitability Background Investigation (T2) and must receive a favorable adjudication thereof from FEMA PSD prior to performing work under this contract.

High Risk https://usfema.sharepoint.com/teams/FEMAET/it_tools/tsc/Pages/default.aspx

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Contractor personnel occupying positions or performing functions with a High-Risk designation shall undergo a Tier 4 Suitability Background Investigation (T4) and must receive a favorable adjudication thereof from FEMA PSD prior to performing work under this contract.

Background Investigation Process

To initiate the request to process contractor personnel, the Contractor shall provide the FEMA

Contracting Officer’s Representative (COR) with all required information and comply with all necessary instructions to complete Section II of the FEMA Form 121-3-1-6, “Contract

Fitness/Security Screening Request.” The FEMA COR shall ensure that all other applicable sections of the FEMA Form 121-3-1-6 are complete prior to submitting the form to FEMA PSD for processing.

The Contractor shall also provide the FEMA COR with completed OF 306, “Declaration for Federal

Employment,” forms for all contractor personnel.

Contractor personnel who already have a favorably adjudicated background investigation, may be eligible to perform work under this contract without further processing by FEMA PSD if: the investigation was completed within the last five years, it meets or exceeds the minimum requirement for the position they will occupy or functions they will perform on this contract, the contractor personnel have not had a break in employment since the prior favorable adjudication, and, FEMA PSD has verified the investigation and confirmed that no new derogatory information has been disclosed which may require a reinvestigation.

FEMA PSD will notify the COR of the names of the contractor personnel eligible to work based on prior, favorable adjudication. The COR will, in turn, notify the Contractor of the names of the favorably adjudicated contractor personnel, at which time the favorably adjudicated contractor personnel will be eligible to begin work under this contract.

For those contractor personnel who do not have an acceptable, prior, favorable adjudication or who otherwise require reinvestigation, FEMA PSD will issue an electronic notification via email directly to the contractor applicant/personnel that contains the following documents, which are incorporated into this contract by reference, along with a link to the National Background

Investigation Services (NBIS) e-Application (eAPP) online system and instructions for submitting the necessary information:

Standard Form 85P, “Questionnaire for Public Trust Positions”

Optional Form 306, “Declaration for Federal Employment”

SF 87, “Fingerprint Card” (2 copies)

DHS Form 11000-6, “Non-Disclosure Agreement”

DHS Form 11000-9, “Disclosure and Authorization Pertaining to Consumer Reports Pursuant to the

Fair Credit Reporting Act”

FEMA PSD will only accept complete packages consisting of all of the above document and

Standard Form 85P, which must be completed electronically through the National Background

Investigation Services (NBIS) e-Application (eAPP) online system. The Contractor is responsible for

Learn more at fema.gov June 2021 18 ensuring that all contractor personnel timely and properly submit all required background information.

Once contractor personnel have properly submitted the complete package of all required background information, FEMA’s Personnel Security Division, at its sole discretion, may grant contractor personnel temporary eligibility to perform work under this contract prior to completion of the full background investigation if the Personnel Security Division’s initial review of the contractor personnel’s background information reveals no issues of concern. In such cases, FEMA’s Personnel Security Division will provide notice of such temporary eligibility to the COR who will then notify the Prime Contractor, at which time the identified contractor personnel will be temporarily eligible to begin work under this contract. Neither the Prime Contractor nor the contractor personnel have any right to such a grant of temporary eligibility. The grant of such temporary eligibility shall not be considered as assurance that the contactor personnel will remain eligible to perform work under this contract upon completion of and final adjudication of the full background investigation.

Upon favorable adjudication of the full background investigation, FEMA’s Personnel Security

Division will update the contractor personnel’s security file and take no further action. In any instance where the final adjudication results in an unfavorable determination, FEMA’s Personnel

Security Division will notify the contractor personnel directly, in writing, of the decision and will provide the COR with the name(s) of the contractor personnel whose adjudication was unfavorable.

The COR will then forward that information to the Contractor. Contractor personnel who receive an unfavorable adjudication shall be ineligible to perform work under this contract. Unfavorable adjudications are final and not subject to review or appeal.

Continued Eligibility and Reinvestigation

Eligibility determinations based on a Low Risk T1, Moderate Risk T2S or High Risk T4 are valid for five years from the date that the investigation was completed and closed. Contractor personnel required to undergo a background investigation to perform work under this contract shall be ineligible to perform work under this contract upon the expiration of the background investigation unless and until the contractor personnel have undergone a reinvestigation and FEMA’s Personnel

Security Division has renewed their eligibility to perform work under this contract.

Exclusion by Contracting Officer

The Contracting Officer, independent of FEMA’s Personnel Security Division, may direct the

Contractor be excluded from working on this contract. Any contractor found or deemed to be unfit or whose continued employment on the contract is deemed contrary to public interest or inconsistent with the best interest of the agency may be removed.

Facility Access

The Contractor shall comply with FEMA Directive 121-1 “FEMA Personal Identity Verification

Guidance,” FEMA Directive 121-3 “Facility Access,” and FEMA Manual 121-3-1 “FEMA

Credentialing Access Manual,” to arrange for contractor personnel’s access to FEMA facilities, which includes, but is not limited to, arrangements to obtain any necessary identity badges for contractor personnel.

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Contractor personnel working within any FEMA facility who do not require access to DHS or FEMA

IT systems and do not qualify for a PIV Card may be issued a Facility Access Card (FAC). FACs cannot exceed 180 days; all contractors requiring access greater than 180 days will need to qualify for and receive a PIV card before being allowed facility access beyond 180 days.

Contractor personnel shall not receive a FAC until they have submitted a SF 87, “Fingerprint Card,” and an OF306, Declaration for Federal Employment, and receive approval from FEMA PSD.

Contractor personnel using a FAC for access to FEMA facilities must be escorted in Critical

Infrastructure areas (i.e., server rooms, weapons rooms, mechanical rooms, etc.) at all times.

FEMA may deny facility access to any contractor personnel whom FEMA’s Office of the Chief Security

Officer has determined to be a potential security threat.

[71 FR 25773, May 2, 2006, as amended at 71 FR 48802, Aug. 22, 2006; 77 FR 50636, Aug. 22, 2012; 77 FR 54836, Sept. 6, 2012]

OPSEC Training

Contractors and Subcontractors who are working on this contract shall receive the OPSEC Awareness

Brief.

Access to the briefing can be obtained at OPSEC Awareness for Military Members, DOD Employees and Contractors (usalearning.gov)

Send the certificate of completion to the FEMA Contracting Officer Representative no later than 30 calendar days after awarded contract. New employees entering into the contract must receive the

Insider Threat Training

Insider Threat training for Contractors can be found at: Insider Threat Awareness (usalearning.gov)

Certificate of training is required for all cleared contractor employees who are working with classified or unclassified information. All certificates must be sent to the assigned FEMA

Contracting Officer Representative, before the Contractor or Subcontractor is granted access to classified or unclassified information but no later than 30 calendar days after awarded contract.

All cleared contractor personnel are required to recertify Insider Threat training annually thereafter.

New employees entering into the contract must receive the briefing within ten (10) business days of joining the contract.

Background Investigations

All contractor personnel who require access to DHS or FEMA information systems, routine access to

DHS or FEMA facilities, or access to sensitive information, including but not limited to Personally

Identifiable Information (PII), shall be subject to a full background investigation commensurate with the level of the risk associated with the job function or work being performed. FEMA’s Personnel

Security Division (PSD) will determine the risk designation for each contractor position by comparing

Learn more at fema.gov June 2021 20 the functions and duties of the position against those of a same or similar federal position,…